RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- M••••• S•••••• wirehouse currentsince Nov 12, 2021 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 10, 2020 to Nov 10, 2021 · New York, Ny
- E•• F•••••••• A••••••• independent RIAJun 6, 2019 to Jan 17, 2020 · Troy, Mi
- H•••• F•••••••• S•••••••• I••• independent RIAJan 15, 2019 to May 13, 2019 · Clinton Township, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Nov 10, 2021, registered Nov 12, 2021 (2 days) · Wirehouse to wirehouse
- E•• F•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 17, 2020, registered Mar 10, 2020 (53 days) · Affiliated broker-dealer or bank to wirehouse
- H•••• F•••••••• S•••••••• I••• to E•• F•••••••• A•••••••left May 13, 2019, registered Jun 6, 2019 (24 days) · RIA to affiliated broker-dealer or bank
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address